Financial Markets Authority - Latest News [Page 1]

The FMA: What to expect from your financial provider

Tuesday, 28 February 2017, 9:26 am | Financial Markets Authority

The Financial Markets Authority (FMA) has today published a series of pointers for customers to use when they are dealing with financial services providers. More >>

FMA publishes its first Conduct Outcomes Report

Monday, 20 February 2017, 11:02 am | Financial Markets Authority

The Conduct Outcomes Report 2016 highlights the key issues and actions from the FMA’s enforcement, supervision and preventative activities for the financial year July 2015 to June 2016. More >>

FMA updates Strategic Risk Outlook

Wednesday, 15 February 2017, 11:40 am | Financial Markets Authority

Today the Financial Markets Authority published its updated Strategic Risk Outlook (SRO) . This is a foundation FMA document and sets out how the regulator identifies and prioritises the key risks to its overall objective of fair, efficient and transparent ... More >>

FMA lays charges under the Crimes Act

Wednesday, 8 February 2017, 4:47 pm | Financial Markets Authority

An individual registered financial adviser appeared in the Auckland District Court yesterday in relation to various charges laid by the FMA under the Crimes Act. More >>

FMA warns firms under "the Act"

Wednesday, 8 February 2017, 12:33 pm | Financial Markets Authority

The Financial Markets Authority (FMA) has issued a formal warning to 12 reporting entities under section 80 of the Anti-Money Laundering and Countering Financing of Terrorism Act (the Act). More >>

The FMA’s guide designed to help focus on good conduct

Thursday, 2 February 2017, 10:37 am | Financial Markets Authority

Today the FMA published the final version of the guide into the FMA’s view of conduct. The FMA has also published submissions from industry, considered as part of the consultation process. More >>

Consultation complete on FMA’s conduct guide

Tuesday, 13 December 2016, 11:21 am | Financial Markets Authority

Earlier this year the FMA consulted on a guide on good conduct, signalling to New Zealand financial services providers what to expect from interaction and engagement with the conduct regulator. More >>

FMA releases AML/CFT monitoring report

Thursday, 8 December 2016, 10:48 am | Financial Markets Authority

The Financial Markets Authority (FMA) has today published its third annual AML/CFT monitoring report. More >>

End of the beginning for the new financial services regime

Thursday, 1 December 2016, 12:32 pm | Financial Markets Authority

A decade in the making, today marks the beginning of a new era in the regulation of New Zealand’s financial markets. The introduction of a stronger regime overseeing financial markets, based on the good conduct of providers, has been in train since ... More >>

FMA releases Audit Quality Monitoring report

Monday, 28 November 2016, 12:26 pm | Financial Markets Authority

The FMA’s 2016 Audit Quality Report reflects that improvements continue to be made in audit quality. The report shows the sector is increasingly aligned with the expectations of the FMA and international auditing standards and global best practice. However, ... More >>

When strangers call bearing investment gifts: hang up

Tuesday, 15 November 2016, 10:26 am | Financial Markets Authority

Cold calls from strangers about investment opportunities are not only sure-fire losers, but illegal, and the Financial Markets Authority says the best response is the dial tone. More >>

Updated guidance on KiwiSaver advice for consultation

Tuesday, 8 November 2016, 1:00 pm | Financial Markets Authority

The FMA is consulting on revised guidance on advice for KiwiSaver sales. The intention of the revised guidance, published today for consultation, is to encourage advisers and financial firms to help New Zealanders make good decisions about KiwiSaver. More >>

The FMA releases 2016 Annual Report

Monday, 10 October 2016, 12:06 pm | Financial Markets Authority

The Financial Markets Authority (FMA) 2016 annual report highlights the fact the FMA has now moved from transition mode to establishing itself as a fully-fledged conduct regulator. More >>

FMA 2016 KiwiSaver report shows growth in members

Wednesday, 5 October 2016, 11:17 am | Financial Markets Authority

Total money in KiwiSaver funds continues to grow, but at a much slower pace than the previous two years as both returns and numbers of new members decline. More >>

European recognition of FMA oversight of auditors

Tuesday, 30 August 2016, 1:47 pm | Financial Markets Authority

The European Commission has announced its recognition of the New Zealand audit oversight regime as equivalent to EU standards, permitting NZ-regulated auditors to operate in the European Union. More >>

FMA warns registered financial adviser

Monday, 15 August 2016, 2:49 pm | Financial Markets Authority

The Financial Markets Authority (FMA) has warned an individual in relation to suspected misleading or deceptive conduct by a registered financial adviser. Following an investigation by the FMA, it concluded that the registered financial adviser had engaged in misleading ... More >>

Work to do on corporate governance disclosure, FMA finds

Thursday, 4 August 2016, 11:29 am | Financial Markets Authority

New Zealand listed companies publicly disclose about two-thirds of the corporate governance information that the FMA believes would be useful to investors. However, on average, unlisted companies provided only 24% of the recommended governance information. More >>

FMA releases conduct guide for feedback

Thursday, 28 July 2016, 11:35 am | Financial Markets Authority

The Financial Markets Authority (FMA) has released a guide to how it will examine whether financial services providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act). The guide is open for consultation today. More >>

FMA discontinues proceedings against Archer and HIL

Friday, 15 July 2016, 1:12 pm | Financial Markets Authority

FMA discontinues proceedings against Archer and HIL The Financial Markets Authority (FMA) has elected to discontinue the proceeding against Archer Capital (Pty) Limited (Archer) and Healthcare Industry Limited (HIL). The defendants, Archer and HIL, have ... More >>

FMCA licensing hits the home straight

Thursday, 14 July 2016, 11:45 am | Financial Markets Authority

The deadline is looming for fund managers to get licensed under the Financial Markets Conduct Act (FMCA) and the Financial Markets Authority is putting out the final call to those that want to stay in the game. More >>

 

 

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